RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
B•••• M•••••• S••••
- O••••••••• S••••••••• I••• BD affiliated currentsince Jul 1, 2022 · Indianapolis, In
- O• I••••••••• M••••••••• C• BD affiliatedAug 15, 2017 to Jun 29, 2022 · Cincinnati, Oh
- F•••• T•••• S••••••••• I••• BD affiliatedFeb 10, 2015 to Aug 7, 2017 · Cincinnati, Oh
- R•••••• J•••• • A••••••••• I••• national BDApr 17, 2014 to Jan 20, 2015 · Blue Ash, Oh
- P•• W••••• M••••••••• BD affiliatedJul 26, 2013 to Feb 4, 2014 · Cincinnati, Oh
- S•••••••• A••••••• L•• national BDJun 26, 2012 to Mar 18, 2013 · Covington, Ky
- O• I••••••••• M••••••••• C• to O••••••••• S••••••••• I•••left Jun 29, 2022, registered Jul 1, 2022 (2 days) · Affiliated broker-dealer or bank to another
- F•••• T•••• S••••••••• I••• to O• I••••••••• M••••••••• C•left Aug 7, 2017, registered Aug 15, 2017 (8 days) · Other
- R•••••• J•••• • A••••••••• I••• to F•••• T•••• S••••••••• I•••left Jan 20, 2015, registered Feb 10, 2015 (21 days) · Other
- P•• W••••• M••••••••• to R•••••• J•••• • A••••••••• I•••left Feb 4, 2014, registered Apr 17, 2014 (72 days) · Other
- S•••••••• A••••••• L•• to P•• W••••• M•••••••••left Mar 18, 2013, registered Jul 26, 2013 (130 days) · Other
- B•••• M•••••• S•••• left O• I••••••••• M••••••••• C• for O••••••••• S••••••••• I••• (registered 2022-07-01)Jun 29, 2022 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address